Kenneth Alan Vargas

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (6)

Series 66Series 65Series 63SIESeries 7Series 6

Registered states (17)

Arizona · California · Colorado · Delaware · Florida · Georgia · Kansas · Massachusetts · Nebraska · New Jersey · New York · Ohio · Oregon · Pennsylvania · South Carolina · Tennessee · Texas

Years in the industry (source record)

30

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

Current firm

From the firm record

Firm

Fidelity Brokerage Services LLC

Firm CRD

7784

SEC number

Not yet retrieved from the source record

Assets under management

Not yet retrieved from the source record

Website

Not yet retrieved from the source record

Phone

Not yet retrieved from the source record

Firm location

Not yet retrieved from the source record

Employment history (26)

From the source registration record · current first

• Strategic Advisers LLCCurrent

  Lake Mary, FL · IA capacity
  Mar 31, 2025 → present
• Fidelity Brokerage Services LLCCurrent

  Lake Mary, FL · BD capacity
  Oct 14, 2015 → present
• Fidelity Brokerage Services LLCCurrent

  The Villages, FL · BC capacity
  start not retrieved → present
• Fidelity Personal And Workplace Advisors

  IA capacity
  Jul 13, 2018 → Mar 31, 2025
• Strategic Advisers LLC

  IA capacity
  Jan 4, 2016 → Jul 13, 2018
• The Leaders Group, Inc.

  BD capacity
  Aug 27, 2013 → Sep 25, 2015
• Investment Centers Of America, Inc.

  BD capacity
  Jul 18, 2013 → Aug 21, 2013
• Investment Centers Of America, Inc.

  IA capacity
  Jul 17, 2013 → Aug 21, 2013
• Capital One Investment Services LLC

  BD capacity
  Jan 27, 2012 → Jul 23, 2013
• Capital One Financial Advisors LLC

  IA capacity
  Jan 27, 2012 → Jul 23, 2013
• First Financial Equity Corporation

  BD capacity
  Jan 21, 2011 → Jan 12, 2012
• Nfp Securities, Inc.

  BD capacity
  Nov 16, 2009 → Dec 10, 2010
• Cullum & Burks Securities, Inc.

  BD capacity
  Mar 17, 2009 → Nov 17, 2009
• Wamu Investments, Inc.

  BD capacity
  May 27, 2008 → Mar 23, 2009
• The Leaders Group, Inc.

  BD capacity
  Apr 5, 2007 → Feb 22, 2008
• Chase Investment Services Corp.

  BD capacity
  Dec 1, 2006 → Mar 23, 2007
• Wachovia Securities, LLC

  BD capacity
  Jun 26, 2006 → Oct 5, 2006
• Park Avenue Securities LLC

  BD capacity
  Apr 29, 2005 → Jul 11, 2006
• Nfp Securities, Inc.

  BD capacity
  Mar 15, 2004 → Mar 31, 2005
• Compass Brokerage, Inc.

  BD capacity
  Sep 13, 2002 → Jan 8, 2004
• Signator Investors, Inc.

  BD capacity
  Jan 1, 2002 → Jul 18, 2002
• John Hancock Funds, Inc.

  BD capacity
  Feb 12, 2001 → Jan 1, 2002
• Afd, Inc.

  BD capacity
  Jul 26, 1999 → Aug 30, 2000
• First Variable Capital Services, Inc.

  BD capacity
  Feb 28, 1997 → May 20, 1998
• New England Securities

  BD capacity
  Sep 25, 1996 → Jan 31, 1997
• New England Funds, L.P.

  BD capacity
  Sep 25, 1996 → Jan 31, 1997

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.